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Compliance Manager

Written by Anton Murray Consulting on 28 Feb, 2017.

Location: Sydney

Salary description: $120k - $150k + bonus

$100-150k AUD Equivalent

Permanent

No Experience years of experience

Our client is a leading retail broker seeking a Compliance Manager to manage their compliance function in their Sydney office – this role will ideally be hired on a part time basis for 3 or 4 days a week. However they are open to hiring someone full time.

Responsibilities

Ensure the business activities comply with AFS license conditions, statutory and regulatory obligations.

Ensure internal compliance measures including manuals, policies and procedures are continually monitored, developed and enhanced.

ASIC submissions.

Promote a compliance culture within the organisation and encourage “Whistle Blowing’.

Maintain employee and management awareness of the Compliance function, regulatory obligations and regulatory changes as they arise.

Liaise with Departmental Managers, Managing Director and the Board on compliance issues as they effect the organisation.

Ensure regular compliance reporting to the Managing Director, Board of Directors and the Compliance Committee, reporting should include recommendations and proposed changes to policies and procedures.